Artículos relacionados a Broker-Dealer Compliance: A Case-based Guide to Compliance...
Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices (Elgar Compliance Guides) - Tapa blanda
Sinopsis
Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.
James Fanto discusses the main, well-established elements and practices in a broker-dealer compliance program and illustrates them with case studies and practical examples drawn from real-life situations to demonstrate the goals of a particular program element and problems in its implementation. Moreover, each chapter highlights the pressures on compliance officers and the trends that collectively may transform compliance practice in a particular area.
Professionals in broker-dealer and investment firm compliance practice will find this book a readable introduction to the field. Experienced practitioners can refresh their knowledge and even learn something new about brokerage compliance program elements and practices.
"Sinopsis" puede pertenecer a otra edición de este libro.
Acerca del autor
James A. Fanto, Gerald Baylin Professor of Law and Co-Director, Center for the Study of Business Law and Regulation, Brooklyn Law School, US
"Sobre este título" puede pertenecer a otra edición de este libro.
EUR 69,29
EUR 16,90 gastos de envío desde Estados Unidos de America a España
Destinos, gastos y plazos de envíoComprar nuevo
Ver este artículo
EUR 71,79
EUR 2,00 gastos de envío desde Irlanda a España
Destinos, gastos y plazos de envío
Resultados de la búsqueda para Broker-Dealer Compliance: A Case-based Guide to Compliance...
Imagen de archivo
Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices
Publicado por
Edward Elgar Publishing Ltd, 2023
ISBN 10: 1800889585
ISBN 13: 9781800889583
Nuevo
Tapa blanda
Librería: Kennys Bookshop and Art Galleries Ltd., Galway, GY, Irlanda
Calificación del vendedor: 5 de 5 estrellas
Condición: New. 2023. Paperback. . . . . . Nº de ref. del artículo: V9781800889583
Cantidad disponible: Más de 20 disponibles
Imagen del vendedor
Broker-Dealer Compliance
Publicado por
Edward Elgar Publishing Ltd, GB, 2023
ISBN 10: 1800889585
ISBN 13: 9781800889583
Nuevo
Paperback
Librería: Rarewaves.com UK, London, Reino Unido
Calificación del vendedor: 5 de 5 estrellas
Paperback. Condición: New. Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.James Fanto discusses the main, well-established elements and practices in a broker-dealer compliance program and illustrates them with case studies and practical examples drawn from real-life situations to demonstrate the goals of a particular program element and problems in its implementation. Moreover, each chapter highlights the pressures on compliance officers and the trends that collectively may transform compliance practice in a particular area.Professionals in broker-dealer and investment firm compliance practice will find this book a readable introduction to the field. Experienced practitioners can refresh their knowledge and even learn something new about brokerage compliance program elements and practices. Nº de ref. del artículo: LU-9781800889583
Cantidad disponible: Más de 20 disponibles
Imagen de archivo
Broker-Dealer Compliance
Librería: PBShop.store UK, Fairford, GLOS, Reino Unido
Calificación del vendedor: 5 de 5 estrellas
PAP. Condición: New. New Book. Shipped from UK. Established seller since 2000. Nº de ref. del artículo: FW-9781800889583
Cantidad disponible: 15 disponibles
Imagen de archivo
Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices
Publicado por
Edward Elgar Publishing Ltd, 2023
ISBN 10: 1800889585
ISBN 13: 9781800889583
Nuevo
Paperback / softback
Librería: THE SAINT BOOKSTORE, Southport, Reino Unido
Calificación del vendedor: 5 de 5 estrellas
Paperback / softback. Condición: New. New copy - Usually dispatched within 4 working days. 166. Nº de ref. del artículo: B9781800889583
Cantidad disponible: Más de 20 disponibles
Imagen del vendedor
Broker-Dealer Compliance
Publicado por
Edward Elgar Publishing Ltd, GB, 2023
ISBN 10: 1800889585
ISBN 13: 9781800889583
Nuevo
Paperback
Librería: Rarewaves.com USA, London, LONDO, Reino Unido
Calificación del vendedor: 5 de 5 estrellas
Paperback. Condición: New. Broker-Dealer Compliance is a concise yet comprehensive guide that reviews the state of broker-dealer compliance, both from general and practical perspectives. While the book has a practical focus, it also makes use of legal scholarship and behavioral and organizational literature on compliance that have grown exponentially in recent years.James Fanto discusses the main, well-established elements and practices in a broker-dealer compliance program and illustrates them with case studies and practical examples drawn from real-life situations to demonstrate the goals of a particular program element and problems in its implementation. Moreover, each chapter highlights the pressures on compliance officers and the trends that collectively may transform compliance practice in a particular area.Professionals in broker-dealer and investment firm compliance practice will find this book a readable introduction to the field. Experienced practitioners can refresh their knowledge and even learn something new about brokerage compliance program elements and practices. Nº de ref. del artículo: LU-9781800889583
Cantidad disponible: Más de 20 disponibles
Imagen de archivo
BrokerDealer Compliance A Casebased Guide to Compliance Program Elements and Practices
Librería: Revaluation Books, Exeter, Reino Unido
Calificación del vendedor: 5 de 5 estrellas
Paperback. Condición: Brand New. 209 pages. 8.25x5.00x0.50 inches. In Stock. Nº de ref. del artículo: __1800889585
Cantidad disponible: 2 disponibles
Imagen del vendedor
Broker-dealer Compliance : A Case-based Guide to Compliance Program Elements and Practices
Publicado por
Edward Elgar Publishing, 2023
ISBN 10: 1800889585
ISBN 13: 9781800889583
Antiguo o usado
Tapa blanda
Librería: GreatBookPrices, Columbia, MD, Estados Unidos de America
Calificación del vendedor: 5 de 5 estrellas
Condición: As New. Unread book in perfect condition. Nº de ref. del artículo: 44858180
Cantidad disponible: Más de 20 disponibles
Imagen de archivo
Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices (Elgar Compliance Guides)
Publicado por
Edward Elgar Publishing, 2023
ISBN 10: 1800889585
ISBN 13: 9781800889583
Nuevo
Tapa blanda
Librería: Majestic Books, Hounslow, Reino Unido
Calificación del vendedor: 5 de 5 estrellas
Condición: New. Nº de ref. del artículo: 401187625
Cantidad disponible: 3 disponibles
Imagen del vendedor
Broker-dealer Compliance : A Case-based Guide to Compliance Program Elements and Practices
Publicado por
Edward Elgar Publishing, 2023
ISBN 10: 1800889585
ISBN 13: 9781800889583
Antiguo o usado
Tapa blanda
Librería: GreatBookPricesUK, Woodford Green, Reino Unido
Calificación del vendedor: 5 de 5 estrellas
Condición: As New. Unread book in perfect condition. Nº de ref. del artículo: 44858180
Cantidad disponible: Más de 20 disponibles
Imagen de archivo
Broker-Dealer Compliance: A Case-based Guide to Compliance Program Elements and Practices
Publicado por
Edward Elgar Publishing Ltd, 2023
ISBN 10: 1800889585
ISBN 13: 9781800889583
Nuevo
Tapa blanda
Librería: Kennys Bookstore, Olney, MD, Estados Unidos de America
Calificación del vendedor: 5 de 5 estrellas
Condición: New. 2023. Paperback. . . . . . Books ship from the US and Ireland. Nº de ref. del artículo: V9781800889583
Cantidad disponible: Más de 20 disponibles